Government Regulatory Convictions for June 2013

Number Latest Month 174
Percent Change from previous month -7.9
Percent Change from 1 year ago 0.3
Percent Change from 5 years ago (Including Magistrate Court) -18.6
Percent Change from 5 years ago (Excluding Magistrate Court) -16.6
Table 1: Criminal Government Regulatory Convictions

The latest available data from the Justice Department show that during June 2013 the government reported 174 new government regulatory convictions. According to the case-by-case information analyzed by the Transactional Records Access Clearinghouse (TRAC), this number is down 7.9% over the previous month.

The comparisons of the number of defendants convicted for government regulatory-related offenses are based on case-by-case information obtained by TRAC under the Freedom of Information Act from the Executive Office for United States Attorneys. (See Table 1)

When monthly 2013 convictions of this type are compared with those of the same period in the previous year, the number of convictions was only slightly up (0.3 percent). Convictions over the past year are still much lower than they were five years ago. Overall, the data show that convictions of this type are down 18.6 percent from levels reported in 2008.

Plot of _FREQ_ by FYMONDT

Figure 1: Monthly trends in government regulatory convictions

The decrease from the levels five years ago in government regulatory convictions for these matters is shown more clearly in Figure 1. The vertical bars in Figure 1 represent the number of government regulatory convictions of this type recorded on a month-to-month basis. Where a prosecution was initially filed in U.S. Magistrate Court and then transferred to the U.S. District Court, the magistrate filing date was used since this provides an earlier indicator of actual trends. The superimposed line on the bars plots the six-month moving average so that natural fluctuations are smoothed out. The one and five-year rates of change in Table 1 and in the sections that follow are all based upon this six-month moving average. To view trends year-by-year rather than month-by-month, see TRAC's annual report series for a broader picture.

Within the broad category of government regulatory, cases were classified by prosecutors into more specific types.

Case types within government regulatory are

  • Counterfeiting and Forgery

  • Customs Violations - Duty

  • Customs Violations - Currency

  • Energy Pricing and Related Fraud

  • Health and Safety Violations - Employees

  • Health and Safety Violations - General Public

  • Copyright Violations

  • Trafficking in Contraband Cigarettes

  • Energy Violations - Nuclear Waste Issues

  • Money Laundering/Structuring (Narcotics)

  • Money Laundering/Structuring (Other)

  • Export Enforcement General

  • Other Government Regulatory Offenses

The largest number of convictions of these matters in June 2013 was for "Other-Regulatory Offenses", accounting for 49.4 percent of convictions. Convictions were also filed for "Counterfeiting and Forgery" (27%), " Customs-Currency Violations" (9.2%), "Contraband Cigarettes-Trafficking in" (5.7%), "Money Laundering-Other" (5.2%). See Figure 2.

The lead investigative agency for government regulatory convictions in June 2013 was Interior accounting for 43 percent of convictions. Other agencies with substantial numbers of government regulatory convictions were: SecServ (23% ), DHS (9%), FBI (7%), ATF (6%). See Figure 3.

Pie chart of progcatlabel

Figure 2: Specific types of convictions
Pie chart of agenrevgrp

Figure 3: Convictions by investigative agency

Government Regulatory Convictions in U.S. Magistrate Courts

Top Ranked Lead Charges

In June 2013, 78 defendants in government regulatory cases for these matters were filed in U.S. Magistrate Courts. These courts handle less serious misdemeanor cases, including what are called "petty offenses." In addition, complaints are sometimes filed in the magistrate courts before an indictment or information is entered. In these cases, the matter starts in the magistrate courts and later moves to the district court where subsequent proceedings take place.

In the magistrate courts in June the most frequently cited lead charge was Title 36 U.S.C Section . involving the "Speeding". This was the lead charge for 23.1 percent of all magistrate convictions in June.

Other frequently prosecuted lead charges include: "18 USC 19 - Petty Offense Defined" (12.8%), "36 CFR 2.35a2ii - Possession of alcohol by a minor" (7.7%), "36 CFR 2.35b2 - Possession of a controlled substance" (7.7%), " 36 CFR 4.22b1 - Operating motor vehicle without due care/unreasonable speed" (7.7%).

Government Regulatory Convictions in U.S. District Courts

In June 2013, 96 defendants in new cases for these matters were charged in the U.S. District Courts. In addition during June there were an additional 0 defendants whose cases moved from the magistrate courts to the U.S. district courts after an indictment or information was filed. The sections which follow cover both sets of cases and therefore cover all matters filed in district court during June.

Top Ranked Lead Charges

Table 2 shows the top lead charges recorded in the convictions of government regulatory matters filed in U.S. District Court during June 2013.

Lead Charge Count Rank  
18 USC 471 - Obligations or securities of United States 17 1 More
18 USC 472 - Uttering counterfeit obligations or securities 13 2 More
18 USC 2342 - Trafficking in contraband cigarettes Unlawful acts 10 3 More
18 USC 371 - Conspiracy to commit offense or to defraud US 8 4 More
18 USC 1033 - Insurance Fraud 8 4 More
31 USC 5332 - Bulk Cash Smuggling into or out of the United States 5 6 More
31 USC 5316 - Exporting and importing monetary instruments( 4 7 More
36 CFR 2.35b2 - Possession of a controlled substance 4 7 More
18 USC 1028 - Fraud and related activity - id documents 3 9 More
18 USC 1341 - Mail Fraud - Frauds and swindles 3 9 More
30 USC 820 - Mine Safety and Health - Penalties 3 9 More
Table 2: Top charges for convictions

  • "Obligations or securities of United States" (Title 18 U.S.C Section 471) was the most frequent recorded lead charge.

  • Ranked 2nd in frequency was the lead charge "Uttering counterfeit obligations or securities" under Title 18 U.S.C Section 472.

  • Ranked 3rd was "Trafficking in contraband cigarettes Unlawful acts" under Title 18 U.S.C Section 2342.

Top Ranked Judicial Districts

In June 2013 the Justice Department said the government obtained 37.5 government regulatory convictions for every ten million people in the United States.

Understandably, there is great variation in the number of government regulatory convictions in each of the nation's ninety-four federal judicial districts.

The districts registering the largest number of convictions of this type last month are shown in Table 3.

Judicial District Count Rank  
Fla, S 14 1 More
Fla, M 6 2 More
Mo, E 6 2 More
Texas, W 4 4 More
Virg, E 4 4 More
Virg, W 4 4 More
Wyoming 4 4 More
Colorado 3 8 More
Ken, E 3 8 More
N Car, E 3 8 More
Ohio, N 3 8 More
Okla, E 3 8 More
S Car 3 8 More
Tenn, W 3 8 More
Texas, S 3 8 More
Table 3: Top 10 districts

  • The Southern District of Florida (Miami)—with 14 convictions—was the most active during June 2013.

  • The Middle District of Florida (Tampa) and Eastern District of Missouri (St. Louis) ranked 2nd.

Top Ranked District Judges

At any one time, there are about 680 federal District Court judges working in the United States. The judges recorded with the largest number of new government regulatory crime cases resulting in convictions of this type during June 2013 are shown in Table 4.

Judge Count Rank  
Marra, Kenneth A. Fla, S 8 1 More
Graham, Donald L. Fla, S 4 2 More
Hamilton, Jean Constance Mo, E 4 2 More
Spencer, James Randolph Virg, E 4 2 More
Arguello, Christine M. Colorado 3 5 More
Corrigan, Timothy J. Fla, M 3 5 More
Van Tatenhove, Gregory Frederick Ken, E 3 5 More
Urbanski, Michael Francis Virg, W 3 5 More
Dalton, Roy Bale, Jr. Fla, M 2 9 More
Bramlette, David C., III Miss, S 2 9 More
Beaty, James A., Jr. N Car, M 2 9 More
Payne, James H. Okla, E 2 9 More
Conti, Joy Flowers Penn, W 2 9 More
McCalla, Jon Phipps Tenn, W 2 9 More
Garcia, Orlando Luis Texas, W 2 9 More
Lubing, James K. Wyoming 2 9 More
Table 4: Top 10 judges

A total of 13 out of the "top ten" judges were in districts which were in the top ten with the largest number of government regulatory convictions , while the remaining 3 judges were from other districts. (Because of ties, there were a total of 16 judges in the "top ten" rankings.)

  • Judge Kenneth A. Marra in the Southern District of Florida (Miami) ranked 1st with 8 convicted in government regulatory convictions.

  • Judges Donald L. Graham in the Southern District of Florida (Miami), Jean Constance Hamilton in the Eastern District of Missouri (St. Louis) and James Randolph Spencer in the Eastern District of Virginia (Alexandria) ranked 2nd with 4 convicted in government regulatory convictions.

Report Generated: August 20, 2013
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